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In-House
Attorney
Finance - Banking
Litigation - Whistleblower - CFTC
Min 5 yrs required
Assistant Monitoring Manager CMP SS Duties: To test the adequacy of controls in place within the business and to identify potential and actual breaches. To escalate regulatory breaches to business and RC & FCC compliance Senior Management in order that appropriate action can be undertaken to rectify. To manage the Compliance Risk Assessment process across different business lines on an ongoing basis and obtain business sign-off. To manage the production, delivery and completion of compliance monitoring plans to include continuous, periodic and themed reviews. To oversee production and issue Monitoring Reports and MI to both Business and Senior Management.
Qualification and Experience
Qualifications: Bachelor’s degree in related field such as business, finance, law or equivalent experience; Proven and progressive financial services operations, compliance, audit and/or legal management experience or equivalent. Relevant experience of a wide range of business activities, product lines and regulatory topics. Requires thorough understanding of compliance and risk controls and must be conversant regarding relevant laws, regulations and overall regulatory environment. Proven organizational, planning, interpersonal, managerial, analytical, problem-solving, decision-making, and team building skills. Ability to assist to manage conflicting priorities effectively and proven ability to meet challenging deadlines. Ability to exercise discretion, work independently within broad guidelines, tactfully handle sensitive and confidential data and complete assignments timely. Excellent communication skills. Closing Date: February 26, 2015, 21:29:00
Ref : 00005LB1
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